DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

R••••• N••• G•••••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 6473966

Feed of 09/14/2026

Also filed as Robert N Grossman

At current firm

1 y

since Nov 6, 2024

In the industry

11 y

since Apr 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• I••••••••• A•••••••• L•• BD affiliated current
since Nov 6, 2024 · Columbus, Oh
S••••••••• W••••• A••••••• L•• state registered
Oct 27, 2023 to Sep 23, 2024 · Paradise Valley, Az
A••••• A•• P••••••• S••••••• BD affiliated
Nov 29, 2022 to Aug 1, 2023 · Denver, Co
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 16, 2021 to Oct 31, 2022 · S•••••••••, Az
P••• A••••• S••••••••• L•• BD affiliated
Mar 7, 2017 to May 20, 2021 · Rye Brook, Ny

Moves

a registration end followed by a registration begin elsewhere

S••••••••• W••••• A••••••• L•• to N••••••••• I••••••••• A•••••••• L••
left Sep 23, 2024, registered Nov 6, 2024 (44 days) · Other
A••••• A•• P••••••• S••••••• to S••••••••• W••••• A••••••• L••
left Aug 1, 2023, registered Oct 27, 2023 (87 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•• I•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••
left Oct 31, 2022, registered Nov 29, 2022 (29 days) · Affiliated broker-dealer or bank to another
P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
left May 20, 2021, registered Jun 16, 2021 (27 days) · Affiliated broker-dealer or bank to another

Signals

R••••• N••• G••••••• left S••••••••• W••••• A••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2024-11-06)
Sep 23, 2024 · Advisor changed firm · fact
R••••• N••• G••••••• left A••••• A•• P••••••• S••••••• for S••••••••• W••••• A••••••• L•• (registered 2023-10-27)
Aug 1, 2023 · Advisor changed firm · fact
R••••• N••• G••••••• left M•• I•••••••• S•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2022-11-29)
Oct 31, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address